Head of Compliance Monitoring & Operations
Department: Compliance
Employment Type: Permanent - Full Time
Location: London
Reporting To: Jonathan Mickiewicz
Description
Reporting to the Compliance Director, the Head of Compliance Monitoring will play a key role in ensuring compliance with all relevant regulations and implementing effective compliance monitoring frameworks. The successful candidate will lead the compliance monitoring function, oversee regulatory operations, and provide strategic guidance to mitigate compliance risks within the business. They will oversee the implementation of effective compliance strategies, streamline operational processes, and maintain the highest standards of integrity while managing risk in a fast-evolving regulatory environment.
About the role
Lead and manage the Compliance Monitoring team to ensure effective oversight of all compliance activities, whilst overseeing the implementation of compliance strategies and streamlining operational processes in accordance with the CFC group. Responsibilities include:
1. Develop and execute a compliance monitoring programme aligned with FCA and Lloyd's regulatory requirements.
2. Establish and maintain KPIs to measure the effectiveness of compliance operations, including alert volumes, false positive rates, and investigation times.
3. Conduct regular risk-based monitoring reviews to ensure adherence to laws, regulations, and policies.
4. Manage MGA's regulatory reporting obligations and ensure timely submissions to authorities.
5. Maintain and improve policies, procedures, and controls to meet UK regulatory expectations.
6. Stay updated with regulatory changes and industry best practices to keep the compliance framework robust.
7. Coordinate with auditors during compliance audits, ensuring documentation is available.
8. Oversee investigation and resolution of compliance incidents, implementing corrective actions.
9. Prepare and present reports on compliance activities to senior management and the Board.
About you
You have demonstrated technical compliance experience, ideally within Lloyd's managing agents or UK-based insurers. You should have:
* Strong knowledge of Lloyd's, Lloyds Europe, FCA Handbook, and UK/international regulatory requirements.
* Ability to work independently in a high-paced environment and as part of a team.
* International regulatory and compliance knowledge, with a pragmatic, commercially-sensitive approach.
Core Values
Love what you do: We show up each day ready to take on the world. Our passion makes a difference to colleagues, customers, brokers, and carriers.
Challenge everything: We question the status quo and strive to improve.
Have fun, be good: We make work enjoyable, welcome diverse viewpoints, and treat everyone with respect.
Job ID dfb9f183-a3ad-4266-86ae-63bdf43b1bea
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